William Baker III

William Baker III

Latham & Watkins LLP

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SEC Enforcement Division Issues Guidance on Venue Selection

Respondents in SEC enforcement actions increasingly will litigate a wide array of matters in administrative proceedings, rather than having their day in federal district court. In the wake of significant public...more

5/19/2015 - Administrative Hearings ALJ Enforcement Actions Forum New Guidance SEC

Securities and Exchange Commission: Critical Issues Facing Public Companies

Latham & Watkins partners William Baker, Alexander Cohen, Joel Trotter and Lawrence West hosted a webcast “Securities and Exchange Commission: Critical Issues Facing Public Companies.” Topics discussed included the increasing...more

4/2/2015

How to Protect Attorney-client Privilege in Internal Investigations

While attorney-client privilege can protect many internal documents, recent court decisions highlight the need to explicitly invoke this protection. As many US policies now require an increased level of internal...more

12/12/2014 - Attorney-Client Privilege Corporate Integrity Agreement Disclosure Requirements Internal Investigations

Supreme Court’s Halliburton Decision Opens New Line of Defense

In Halliburton Co. v. Erica P. John Fund, Inc., a rebuttable presumption must yield to the evidence at class certification. On June 23, 2014, the United States Supreme Court sustained the “fraud-on-the-market”...more

7/8/2014 - Basic v Levinson Class Certification Fraud Fraud-on-the-Market Halliburton Halliburton v Erica P. John Fund Presumption of Reliance SCOTUS Securities Fraud

Investment Adviser Charged For Demoting Whistleblower in SEC’s First Anti-Retaliation Case

Investment adviser and its owner settle SEC enforcement action for nearly US$2.2 million. On June 16, 2014, the US Securities and Exchange Commission issued a cease and desist order and assessed a US$300,000 civil...more

6/20/2014 - Anti-Retaliation Provisions Enforcement Actions Popular Retaliation SEC Whistleblowers

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